October and November Reg A+ filings show a pattern of no-pattern (except for using Vintage)

As discussed on our webcast with McDermott, Will & Emery (listen here), the Reg A+ filing process that produces an Effective Form 1-A submitted to the SEC, is not easy. However, it is somewhat easier than a traditional IPO’s S-1, and certainly less cost. It’s a viable new capital raising tool for emerging growth companies… companies that appreciate our intelligent value mantra.

In October and November, there were 12 Form 1-A filings.

  • 7 of the 12 were filed with a filing agent
  • 5 of the 12 were self-filed by the registrants
  • 4 of the 12 were filed by Vintage. We were the only “name-brand’ agent
  • 4 of the 12 worked via a securities law firm
  • 2 of the 4 Vintage filings worked via a securities law firm

As you see below, there is the pattern of no-pattern… very different from an S-1 as you’ll see each week here in this blog.

Filing Agent Account / Law Firm Registrant Form Type
Self-filed by registrant None QAZING, INC. 1-A
VINTAGE None GROUNDFLOOR FINANCE INC. 1-A
Filing agent Horwitz + Armstrong LLP GREAT COIN, INC. 1-A
Self-filed by registrant None ACCELERA INNOVATIONS FUND I, INC 1-A
Self-filed by registrant None ADVANTAMEDS SOLUTIONS USA FUND I, INC. 1-A
VINTAGE Goodwin Procter LLP FUNDRISE REAL ESTATE INVESTMENT TRUST, LLC 1-A
Transfer agent None PUNCH TV STUDIOS INC. 1-A
Filing agent None CMX GOLD & SILVER CORP. 1-A
Self-filed by registrant None CHAMELEON MEDIA GROUP INC 1-A
VINTAGE None GROUNDFLOOR FINANCE INC. 1-A
VINTAGE Kaplan Voekler Cunningham & Frank, PLC MEDALIST DIVERSIFIED REIT, INC. 1-A
Self-filed by registrant Hand & Hand MEDIA ASSETS GROUP, INC. 1-A

Lastly, if this topic is at all interesting to you, 1.) download this whitepaper here and also 2.) opt-in to receive the weekly transactions list, including S-1 and 1-A files, by email (opt-in here).

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